Business
DTCC Identifies Cyber Attacks As Most Significant Risk To Financial Markets
On August 7, Depository Trust & Clearing Corporation (DTCC) released a report identifying threats to the stability of the financial markets.…
Business
Seed Shareholders In Going Public Transactions
The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become an SEC…
News
Equity Lines In Going Public Transactions
In going public transactions, issuers consider many captial raising options. One capital raising option is the equity credit Line Most equity lines are structured so that the investor enters into…
Business
The JOBS Act Rule 506 The Colossal Exemption
On July 10, 2013, the Securities and Exchange Commission (“SEC”) adopted a new rule to implement a JOBS Act requirement to lift the ban on general solicitation and general advertising…
Business
Rule 506 Not For Bad Actors Anymore
On July 10, 2013, the Securities and Exchange Commission (the “SEC” or “Commission”) adopted amendments to rules promulgated under Regulation D of the Securities Act of 1933, as amended (the…
Business
A New Crowdfunding Watchdog In Massachusetts
Consumer watchdogs and the Securities and Exchange Commission (“SEC”) as well are aware that certain provisions of the new Rule 506 created in connection with the JOBS Act could encourage…
Business
Uses And Abuses Of The Section 3a 10 Exemption
Section 3(a)(10) of the Securities Act of 1933, as amended (the “Securities Act”) exempts the offer and sale of securities in certain exchange transactions from the registration statement requirements.…
Business
Reverse Mergers In Going Public Transactions
Private Companies become publicly traded filing a registration statement under the Securities Act of 1933, as amended. Another established method for private companies go public is through a Reverse Merger
Business
Going Public On The Pink Sheets Using Form 211
Private companies seeking to go public are opting to list on the OTCMarkets /www.otcmarkets.com> OTC Pink Current tier. Companies seeking to public company status can list on the OTC Pink…
Business
The Direct Public Offering Process In Going Public Transactions
Private companies seeking to go public often use a direct public offering. Unlike an Initial Public Offering, a Direct Public Offering allows an issuer to sell its shares directly to…